DFX Intelligence

T•••••• M••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner19 years in industry

T•••••• M••• W•••••

Advisor at F•••• P••••••• W•••••• L••

WALNUT CREEK, CA | ST. LOUIS, MO

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Search this name across graphsid dfx:ria:9a909014-4251-ed5c-7f88-56f3f5c4fed8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 4, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: F•••• P••••••• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 24, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• P••••••• W•••••• L••	Independent wealth	Jul 1, 2024	n/a	yes	WALNUT CREEK, CA\|ST. LOUIS, MO	Current employment
B••••••••• S•••••••• W•••••• L••	Former SEC adviser	Oct 1, 2019	Nov 14, 2024	no	WALNUT CREEK, CA\|ST LOUIS, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• S•••••••• W•••••• L••	F•••• P••••••• W•••••• L••	Nov 14, 2024	Jul 1, 2024	-136	Bulk transfer	RIA to RIA
F•••• A•••••• S••••••••• L••	B••••••••• S•••••••• W•••••• L••	Oct 1, 2019	Oct 1, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
111861:169026:CA:2019-01-08	Jan 8, 2019	Nov 8, 2013	SAN JOSE, CA	Firm change after gap
169026:143319:CA:2019-01-08	Jan 8, 2019	Jan 8, 2019	SAN JOSE, CA	Firm change

Relationships

Registered with (5)

→ F•••• P••••••• W•••••• L••Registered adviserregistration: current employment
Jul 1, 2024 to presentfactForm ADV
→ B••••••••• S•••••••• W•••••• L••Registered adviserregistration: previous registration
Oct 1, 2019 to Nov 14, 2024factForm ADV
→ F•••• A•••••• S••••••••• L••Registered adviserregistration: previous registration
Jan 8, 2019 to Oct 1, 2019factForm ADV
→ L•• F•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a909014-4251-ed5c-7f88-56f3f5c4fed8
First observed: Feb 4, 2011
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.